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必过1030_ · 2020年03月28日

问一道题:NO.PZ2016040303000020

问题如下:

Which of the following statements is correct under the Code and Standards?

选项:

A.

CFA Institute members and candidates are prohibited from undertaking independent practice in competition with their employer.

B.

Written consent from the employer is necessary to permit independent practice that could result in compensation or other benefits in competition with a member’s or candidate’s employer.

C.

Members and candidates are prohibited from making arrangements or preparations to go into a competitive business before terminating their relationship with their employer.

解释:

B is correct.

Under Standard IV(A) –Loyalty, members and candidates may undertake independent practice that may result in compensation or other benefit in competition with their employer as long as they obtain consent from their employer. Answer C is not consistent with the Standards because the Standards allow members and candidates to make arrangements or preparations to go into competitive business as long as those arrangements do not interfere with their duty to their current employer. Answer A is not consistent with the Standards because the Standards do not include a complete prohibition against undertaking independent practice.

c为什么不对

1 个答案

发亮_品职助教 · 2020年03月29日

嗨,从没放弃的小努力你好:


我们说的是在职不能参与和雇主相竞争的业务。

而C选项说的是:Making arrangements or preparations,也就是做相关的准备工作,相关的准备工作和雇主没有竞争的关系,因此可以做。

例如,基金经理打算离职自己开一家私募,显然私募业务和雇主是有竞争的,但是,私募公司的注册,招员工,选办公地方,这些前期准备工作并没有和原雇主产生竞争关系,所以在职时,基金经理可以给自己的私募招员工,选办公地点,注册等等前期准备事项(arrangements or preparations)。只要这些前期准备工作是在自己的业余时间完成的,不能利用上班时间做。

所以,C选项说不能做前期准备工作, 这点错误,前期准备工作和雇主并不会发生竞争关系。

 


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